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SEC

  • SEC Updates Tick-Size and Access-Fee Rules, Industry Reacts

    Retail and institutional investors will soon be able to trade in smaller increments on most U.S. stocks, as part of the SEC’s plan to overhaul equity market structure rules.  On Sept. 18, the SEC’s five …

    By Ivy Schmerken September 26, 2024 Insights
  • What’s Next for the SEC’s Equity Market Structure Proposals in 2024?

    Heading into 2024, US broker-dealers are anticipating a decision by the SEC on its four-equity market structure proposals, a set of rules which seek to revamp stock trading for both retail and institutional investors. But an additional proposal to ban volume-based pricing tiers could inject more complexity into the regulatory outlook for 2024.

    By Ivy Schmerken January 9, 2024 Insights
  • A Year in Review: Top Blogs in 2023

    While the hottest topic in financial technology for 2023 was undoubtedly the rise of ChatGPT and large language models, other topics like consolidation of the buy-side trading desk, and the impact of T+1 on the sell-side remained in serious contention

    By Ivy Schmerken December 13, 2023 Insights
  • Industry Preps for T+1 Settlement Countdown

    As banks, fund managers, and custodians gear up for what is one of the biggest changes in US market infrastructure to happen in recent times, there are implications for global trading desks and higher costs for operations and technology budgets.

    By Ivy Schmerken November 6, 2023 Insights
  • Consensus Emerges in Industry Reaction to SEC Stock Trading Overhaul

    Industry participants have weighed in on the Securities and Exchange Commission’s proposals to revamp equity market structure, with many urging the regulator to take an incremental approach, to implement the transparency proposal and drop the controversial auction proposal.

    By Ivy Schmerken May 31, 2023 Insights
  • What’s Next for the Buy-Side Trading Desk?

    One of the major themes for 2023 is the emphasis on multi-asset trading and the focus on efficiency and scalability across regions and countries. In the past, a trader focused on a single asset class such as equities or bonds, whereas today with the migration to electronic trading, the desk can automate workflows and manage executions across all asset classes.

    By Ivy Schmerken February 13, 2023 Insights
  • Top Sell-Side Trends for 2023

    What are the top market structure issues for sell-side firms in 2023? With the new year off to a fast start, brokerage firms are facing a variety of evolving issues that could impact their trading businesses. On the horizon are proposed regulations to reform U.S. equity trading, increased best execution obligations, innovations in ATSs, 24-hour trading, and shortening the settlement cycle to T+1.

    By Ivy Schmerken January 18, 2023 Insights
  • A Year in Review: Top Blogs in 2022

    As we look back on this year, topics such as institutional adoption of digital asset trading, European trading in response to geopolitical risk, and the SEC’s plans to revamp U.S. stock trading rules dominated the headlines. In 2022, we covered those topics and much more including the growing sophistication of AlgoWheel, and the evolution of the buy-side fixed income EMS.

    By Ivy Schmerken December 15, 2022 Insights
  • Auctions Loom Large in SEC’s Equity Market Overhaul

    At the Security Traders Association (STA) 89th Annual National Market Structure Conference held in Washington DC in October, brokerage executives reacted to the concept of auctions as well as other ideas on SEC Chair Gary Gensler’s agenda to revamp equity market structure. But the industry’s top wholesalers and brokerage executives speaking at STA emphasized that the stock market is functioning well for retail investors and cautioned against making a litany of changes that could lead to worse results.

    By Ivy Schmerken November 10, 2022 Insights
  • Plans for Equity Market Structure Revamp Stimulate Debate

    One of the biggest possible reforms would be a requirement for retail brokers to route individual orders to buy or sell stocks into a transparent “auction process” for matching customer orders, rather than sending them to wholesale market makers for execution on off-exchange platforms.

    By Ivy Schmerken July 25, 2022 Insights
  • Stablecoin Fiasco Raises Questions for Institutional Adoption of Digital Assets

    It’s not clear whether the stablecoin crisis will cause institutions to scale back their plans for trading and investing in cryptocurrencies or digital securities.

    By Ivy Schmerken June 1, 2022 Insights
  • The New Wave in Private Securities Marketplaces

    Eyeing this demand for private equity, major broker-dealers, wholesale market makers and global exchanges are striking deals and forming new platforms to bring automation to private securities trading.

    By Ivy Schmerken April 25, 2022 Insights

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